Investment adviser · CRD 124744

MARINER INVESTMENT GROUP, LLC

HARRISON, NY, United States · Form ADV filed Mar 1, 2022

Regulatory AUM
$188B
Form ADV · Item 5.F
Client accounts
35
Accounts, not individual clients
Employees
109
Reported in this filing
Advisory professionals
55
Investment advisory functions

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client typeClientsRegulatory assetsShare of AUM
Pooled investment vehicles28$179,369,377,10795.4%
Other investment advisersFewer than 5$7,123,378,4563.8%
Retirement plansFewer than 5$1,032,271,8900.5%
Corporations & businessesFewer than 5$270,976,3400.1%
Government entitiesFewer than 5$229,966,6180.1%
Filing source

Form ADV 1611521 · Mar 1, 2022 · Item 5.D

Reported by MARINER INVESTMENT GROUP, LLC (CRD 124744).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

Private funds & service providers

14 detailed fund records

Largest reported gross asset value first; unreported values last. Gross asset value is fund-level disclosure, distinct from adviser AUM and Form D fundraising. Master and feeder funds may overlap.

MARINER FAIRWIND UNIT TRUSTOther Private Fund$191MGross asset value
Search Form D filings →
Fund administrator MUFG FUND SERVICES CAYMAN LIMITED HALIFAX, Canada Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →
Auditor KPMG LLP STAMFORD, Connecticut, United States Other funds reporting this name →
Custodian MUFG ALTERNATIVE FUND SERVICES CAYMAN LIMITED GRAND CAYMAN, Cayman Islands Related to adviser: No Other funds reporting this name →
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

KPMG LLP
PCAOB 185

Fund details & source
Fund ID
805-3249405527
Reported beneficial owners
2
Minimum commitment
$1M

Form ADV 1611521 · Mar 1, 2022 · Schedule D 7.B.(1)

Reported by MARINER INVESTMENT GROUP, LLC (CRD 124744).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

GALTON MORTGAGE RECOVERY MASTER FUND IV, LP.Hedge Fund · Master$90.9MGross asset value

Form D fundraising filings

View filings for the issuers linked by this fund’s reported Form D file numbers.

Fund administrator INTERNATIONAL FUND SERVICES (N.A.), L.L.C. PRINCETON, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →
Auditor KPMG LLP STAMFORD, Connecticut, United States Other funds reporting this name →
Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No Other funds reporting this name →
Prime broker MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED BOSTON, Massachusetts, United States Other funds reporting this name →
Prime broker STATE STREET BANK AND TRUST BOSTON, Massachusetts, United States Other funds reporting this name →
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

KPMG LLP
PCAOB 185

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD 7691 · SEC 8-7221

Fund details & source
Fund ID
805-8254902001
Reported beneficial owners
9
Minimum commitment
$5M
Form D file number
021-295146
Form D file number
021-295144

Form ADV 1611521 · Mar 1, 2022 · Schedule D 7.B.(1)

Reported by MARINER INVESTMENT GROUP, LLC (CRD 124744).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

GALTON MORTGAGE RECOVERY MASTER FUND III, L.P.Hedge Fund · Master$65MGross asset value

Form D fundraising filings

View filings for the issuers linked by this fund’s reported Form D file numbers.

Fund administrator INTERNATIONAL FUND SERVICES (N.A.), LLC PRINCETON, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →
Auditor KPMG LLP STAMFORD, Connecticut, United States Other funds reporting this name →
Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No Other funds reporting this name →
Prime broker MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED NEW YORK, New York, United States Other funds reporting this name →
Prime broker STATE STREET BANK AND TRUST BOSTON, Massachusetts, United States Other funds reporting this name →
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

KPMG LLP
PCAOB 185

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD 7691 · SEC 8-7221

Fund details & source
Fund ID
805-3950411413
Reported beneficial owners
13
Minimum commitment
$5M
Form D file number
021-206730
Form D file number
021-203744

Form ADV 1611521 · Mar 1, 2022 · Schedule D 7.B.(1)

Reported by MARINER INVESTMENT GROUP, LLC (CRD 124744).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

MARINER GLEN OAKS MASTER FUND, L.P.Hedge Fund · Master$49.2MGross asset value

Form D fundraising filings

View filings for the issuer linked by this fund’s reported Form D file numbers.

Fund administrator MUFG FUND SERVICES CAYMAN LIMITED HALIFAX, Canada Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →
Auditor KPMG LLP STAMFORD, Connecticut, United States Other funds reporting this name →
Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →
Marketer MARINER GROUP CAPITAL MARKETS, LLC HARRISON, New York, United States Related to adviser: Yes Other funds reporting this name →
Marketer MARINER INVESTMENT (EUROPE) LLP LONDON, United Kingdom Related to adviser: Yes Other funds reporting this name →
Prime broker J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Other funds reporting this name →
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

KPMG LLP
PCAOB 185

J.P. MORGAN SECURITIES LLC
SEC 8-35008

MARINER GROUP CAPITAL MARKETS, LLC
CRD 25878 · SEC 8-42116

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

Fund details & source
Fund ID
805-5576850531
Reported beneficial owners
9
Minimum commitment
$1M
Form D file number
021-241966

Form ADV 1611521 · Mar 1, 2022 · Schedule D 7.B.(1)

Reported by MARINER INVESTMENT GROUP, LLC (CRD 124744).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

MARINER FRONTIER FUND, L.P.Other Private Fund$37.3MGross asset value

Form D fundraising filings

View filings for the issuer linked by this fund’s reported Form D file numbers.

Fund administrator THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →
Auditor KPMG LLP STAMFORD, Connecticut, United States Other funds reporting this name →
Custodian THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

KPMG LLP
PCAOB 185

Fund details & source
Fund ID
805-4419076235
Reported beneficial owners
2
Minimum commitment
$5M
Form D file number
021-126897

Form ADV 1611521 · Mar 1, 2022 · Schedule D 7.B.(1)

Reported by MARINER INVESTMENT GROUP, LLC (CRD 124744).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

CONCORDIA MUNICIPAL OPPORTUNITIES MASTER FUND LPHedge Fund · Master$19.3MGross asset value
Search Form D filings →
Fund administrator MUFG FUND SERVICES CAYMAN LIMITED HALIFAX, Canada Investor statements: Yes (provided to all investors) Related to adviser: No Other funds reporting this name →
Auditor GRANT THORNTON LLP NEW YORK, New York, United States Other funds reporting this name →
Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →
Custodian JP MORGAN SECURITIES PLC LONDON, United Kingdom Related to adviser: No Other funds reporting this name →
Custodian MUFG ALTERNATIVE FUND SERVICES CAYMAN LIMITED GRAND CAYMAN, Cayman Islands Related to adviser: No Other funds reporting this name →
Custodian PERSHING LLC JERSEY CITY, New Jersey, United States Related to adviser: No Other funds reporting this name →

See filing for more → Showing the first 6 providers by role and name. IAPD may show a newer filing.

Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

GRANT THORNTON LLP
PCAOB 248

J.P. MORGAN SECURITIES LLC
SEC 8-35008

PERSHING LLC
SEC 8-17574

Fund details & source
Fund ID
805-2803297410
Reported beneficial owners
15
Minimum commitment
$250K
Form D file number
021-930000

Form ADV 1611521 · Mar 1, 2022 · Schedule D 7.B.(1)

Reported by MARINER INVESTMENT GROUP, LLC (CRD 124744).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

MARINER OPPORTUNITIES FUND, L.P.Hedge Fund$15.9MGross asset value
Search Form D filings →
Fund administrator BACK OFFICE SERVICES GROUP, LLC HARRISON, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: Yes Other funds reporting this name →
Auditor GRANT THORNTON LLP NEW YORK, New York, United States Other funds reporting this name →
Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No Other funds reporting this name →
Prime broker J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Other funds reporting this name →
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

GRANT THORNTON LLP
PCAOB 248

J.P. MORGAN SECURITIES LLC
SEC 8-35008

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

Fund details & source
Fund ID
805-6289396283
Reported beneficial owners
58
Minimum commitment
$1M

Form ADV 1611521 · Mar 1, 2022 · Schedule D 7.B.(1)

Reported by MARINER INVESTMENT GROUP, LLC (CRD 124744).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

Services & filing details

Showing values from the selected filing. Latest observed filing does not establish current registration status.

What changed?

No comparable changes in the displayed metrics.

Filing source

Form ADV 1611521 · Mar 1, 2022 · Items 1 & 5

Reported by MARINER INVESTMENT GROUP, LLC (CRD 124744).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

Management of assets

Discretionary
$188B
Non-discretionary
$124M
Filing history · 0 annual filings

Adviser-level financial and staffing figures are unavailable in these annual filings. Select a filing to view its reported funds and providers.

    Reported services

    Pooled investment vehicle management · Business portfolio management · Selection of other advisers

    Compensation

    Percentage of assets · Performance-based

    Principal office

    500 MAMARONECK AVENUE, 4TH FLOOR
    HARRISON, NY, 10528, United States

    CRD 124744

    Filing source

    Form ADV 1611521 · Mar 1, 2022 · Items 1 & 5

    Reported by MARINER INVESTMENT GROUP, LLC (CRD 124744).

    Other-Than Anual Amendment For Registered Adviser.

    Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.